CM/GC PROCUREMENT GUIDANCE DOCUMENT

1 CM/GC CONSTRUCTION MANAGER / GENERAL CONTRACTOR CM/GC PROCUREMENT GUIDANCE DOCUMENT for the WALK BRIDGE PROJECT PROJECT NO. 0301-0092 DECEMBER 23, 2014 ConnDOT Walk Bridge Project CM/GC PROCUREMENT Manual Page i DECEMBER 2014 Construction Manager/General Contractor WALK BRIDGE PROJECT CM/GC PROCUREMENT Manual Table of Contents 1. PURPOSE .. 1 CM/GC BACKGROUND AND SELECTION PROCESS - EXECUTIVE SUMMARY .. 2 WALK BRIDGE PROJECT DESCRIPTION .. 3 CONNDOT S GOALS FOR THE WALK BRIDGE PROJECT:.. 4 MAJOR ELEMENTS OF CM/GC PROGRAM .. 5 DEFINITIONS .. 7 GENERAL OVERVIEW OF CM/GC RESPONSIBILITY AND PROJECT DELIVERY .. 15 CONFIDENTIALITY STATEMENTS/CONFLICT OF INTEREST.

2 17 TIME OF PERFORMANCE REQUIREMENTS .. 18 SELECTION COMMITTEE .. 18 2. DETAILED DESCRIPTION OF EVALUATION AND SELECTION OF THE SUCCESSFUL CM/GC .. 19 SUMMARY - EVALUATION AND SELECTION OF THE CM/GC .. 19 CM/GC ADVERTISEMENT .. 20 REQUESTS FOR QUALIFICATIONS (RFQ) .. 20 STATEMENT OF QUALIFICATION (SOQ) SUBMISSION REQUIREMENTS .. 21 MANDATORY DISCLOSURE FORMS .. 22 EVALUATION CRITERIA FOR STATEMENTS OF QUALIFICATIONS (SOQ) .. 22 REQUEST FOR PROPOSALS (RFP) .. 22 PRESUBMITTAL CONFERENCE FOR THE REQUEST FOR PROPOSAL .. 23 TECHNICAL PROPOSAL .. 24 TECHNICAL PROPOSAL EVALUATION PROCESS AND CRITERIA .. 24 PRICE COMPONENT OF THE RFP .. 25 CM/GC INTERVIEWS.

3 25 RECOMMENDATION OF CONTRACTOR .. 25 3. ANTICIPATED PRE-CONSTRUCTION SERVICES (DURING DESIGN) .. 27 OVERVIEW OF PRE-CONSTRUCTION SERVICES .. 27 AWARD OF PRE-CONSTRUCTION SERVICES AND GMP .. 28 PRE-CONSTRUCTION FEE .. 29 PRELIMINARY EVALUATION (DESIGN PHASE COOPERATION, COORDINATION, AND COMMUNICATION) .. 30 CM/GC S PERFORMANCE AND LIMITATIONS .. 30 ADDITIONAL SUPPORT SERVICES .. 31 CM/GC HARMONY/ COLLABORATION .. 31 SUBCONTRACTING INCLUDING AA/EEO AND DBE .. 31 CHANGES TO THE CM/GC TEAM .. 32 VALUE ENGINEERING (VE) .. 32 RISK ANALYSIS .. 32 INDEPENDENT COST ESTIMATE .. 33 ENGINEERS ESTIMATE .. 34 ESTIMATOR CALIBRATION 34 ConnDOT Walk Bridge Project CM/GC PROCUREMENT Manual Page ii DECEMBER 2014 COORDINATION WITH THE DESIGN CONSULTANT AND THE PROJECT MANAGER.

4 34 CONTRACTOR REVIEWS .. 35 NOTIFICATION OF VARIANCE OR DEFICIENCY .. 36 ALTERNATIVE EVALUATIONS / OPTIONS ANALYSIS PRIOR TO GMP .. 36 PROJECT MEETINGS .. 36 OVER-THE-SHOULDER REVIEWS .. 37 LONG LEAD ITEMS / SYSTEM PROCUREMENTS .. 37 CONSTRUCTION MANAGEMENT PLAN .. 37 PROJECT SCHEDULE .. 38 DOCUMENT CONTROL .. 39 TEAM PARTNERING .. 39 PREPARATION OF GUARANTEED MAXIMUM PRICE (GMP) PROPOSALS .. 39 MULTIPLE GMPs .. 40 EXTRA WORK ORDERS / AMENDMENTS TO THE GMP .. 41 UNSUCCESFUL GMP NEGOTIATION .. 41 CONTINGENCY .. 42 NOTICE PROVISIONS .. 43 PRELIMINARY GMP SCHEDULE .. 43 COST ESTIMATES AND ESTIMATE CALIBRATION MEETINGS .. 43 CONFIDENTIALITY OF COST MODEL AND GMP DOCUMENTATION.

5 45 NON-COLLUSION .. 45 4. ANTICIPATED CONSTRUCTION ADMINISTRATION SERVICES .. 46 CONSTRUCTION PHASE .. 46 SUBCONTRACTORS .. 47 SELF-PERFORMANCE BY THE CM/GC .. 47 CHANGE ORDERS AND TIME EXTENSIONS .. 47 COMPENSATION .. 48 MEASUREMENT AND PAYMENT .. 48 CONTRACTOR AND SUBCONTRACTOR RECORDS .. 48 CONTRACT TERMINATION OR SUSPENSION .. 49 ConnDOT Walk Bridge Project CM/GC PROCUREMENT Manual Page iii DECEMBER 2014 This page left blank intentionally ConnDOT Walk Bridge Project CM/GC PROCUREMENT Manual Page 1 DECEMBER 2014 1. PURPOSE The purpose of the CM/GC PROCUREMENT GUIDANCE DOCUMENT is to outline the Connecticut Department of Transportation (ConnDOT)'s general process for procuring and administering the Walk Bridge Project through the utilization of the Construction Manager/General Contractor ( CM/GC ) project delivery method.

6 Even though CM/GC is used by many states, this DOCUMENT communicates the key aspects of ConnDOT s version of CM/GC to the construction industry, the design community, and other stakeholders. The GUIDANCE DOCUMENT also provides a general outline for the internal ConnDOT staff for their use in the PROCUREMENT of the Construction Manager/General Contractor. Many of the procedures and concepts that ConnDOT has chosen, as part of this CM/GC process, have been developed utilizing ConnDOT s Design/Build processes, as well as CM/GC concepts and options from the National Cooperative Highway Research Program (NCHRP) Synthesis #402 for Highway Programs, as well as thorough discussions with other state transportation agencies.

7 Reference: The CM/GC method offers many potential benefits including shorter overall project completion duration, improved risk identification and mitigation responses, increased utilization of innovation design/construction techniques, and improved construction conflict identification and management. This CM/GC PROCUREMENT GUIDANCE DOCUMENT is intended to provide information only; it should not be considered a contractual DOCUMENT . This information is provided in advance of the formal PROCUREMENT documents (RFQ and RFP described below); those documents take precedence over this DOCUMENT . In addition, during the formal PROCUREMENT process, ConnDOT may elect to revise any policies described herein.

8 ConnDOT welcomes questions or comments from interested parties. All questions or comments should be directed to: ConnDOT Walk Bridge Project CM/GC PROCUREMENT Manual Page 2 DECEMBER 2014 CM/GC BACKGROUND AND SELECTION PROCESS - EXECUTIVE SUMMARY BACKGROUND: The CM/GC project delivery method is an integrated team approach to the planning, design, and construction of a project. The delivery method incorporates procedures to better control the schedule, budget, and quality. The CM/GC method has been developed as a result of public owner demands to enhance quality, decrease cost, compress the delivery period, and better plan for and manage risks.

9 As different from the traditional Design/Bid/Build process, in CM/GC project delivery, the successful Contractor will work closely with the ConnDOT design team during the design (pre-construction) phase, but ConnDOT s Designer will remain as the Engineer of Record. In addition, ConnDOT will separately provide a Project Management Consultant and an Independent Cost Estimator (ICE) to assist in this project delivery process. ConnDOT will select a CM/GC Contractor (hereinafter referred to as Contractor ) to provide both pre-construction phase and construction phase expertise. During the design phase, the Contractor will provide services such as plan reviews for constructability, pricing, scheduling, staging methods, efficiency, material PROCUREMENT strategies, risk identification/management, and other areas related to the construction of the project.

10 As the design approaches completion, ConnDOT and the CM/GC will negotiate the price for the work (using a price estimate set by the ICE to measure against). The selected Contractor will provide the qualifications and skills required for a general contractor, to eventually construct the Walk Bridge Project. The CM/GC will not proceed into construction unless ConnDOT agrees that the price provided, as part of an agreement to complete the project, or a portion of the project, (and independently evaluated) is fair, reasonable, and defendable. Please note that should ConnDOT and the Contractor s GMP negotiations not be successful, ConnDOT reserves its right to cancel the agreement with the Contractor, and the parties will follow the ConnDOT standards for discontinuance of work, including the transfer of in-process fabricated materials.